0001126234-20-000031.txt : 20200330 0001126234-20-000031.hdr.sgml : 20200330 20200330182513 ACCESSION NUMBER: 0001126234-20-000031 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200318 FILED AS OF DATE: 20200330 DATE AS OF CHANGE: 20200330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LALANDE KEVIN M. CENTRAL INDEX KEY: 0001587800 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 20758881 MAIL ADDRESS: STREET 1: 201 WEST 5TH STREET CITY: AUSTIN STATE: TX ZIP: 78701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUMOS PHARMA, INC. CENTRAL INDEX KEY: 0001126234 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 421491350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4200 MARATHON BLVD. STREET 2: SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78756 BUSINESS PHONE: 512-215-2630 MAIL ADDRESS: STREET 1: 4200 MARATHON BLVD. STREET 2: SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78756 FORMER COMPANY: FORMER CONFORMED NAME: NEWLINK GENETICS CORP DATE OF NAME CHANGE: 20001012 3 1 wf-form3_158560709395778.xml FORM 3 X0206 3 2020-03-18 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001587800 LALANDE KEVIN M. 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 1 0 0 0 Common Stock 409627 I By Sante Health Ventures II, LP The reporting person is a managing director of SHV Management Services, LLC ("SHV Management"). SHV Management is the general partner of SHV Management Services, LP, which is the general partner of the partnership that directly owns the reported securities. The reporting person disclaims beneficial ownership of the securities reported except to the extent of his pecuniary interest, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all the reported securities for purposes of Section 16 or for any other purpose. /s/ Ryan Trytten, attorney-in-fact 2020-03-30 EX-24 2 ex-24.htm LALANDE POA

LIMITED POWER OF ATTORNEY FOR SECTION 16(a) REPORTING
KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby makes, constitutes and appoints each Carl W. Langren, Lori Lawley, Bradley J. Powers and Ryan D. Trytten, and each of their successors in the offices of Chief Financial Officer, VP Finance and Controller, General Counsel or Legal Advisor of Lumos Pharma, Inc. (the "Company"), as the undersigned's true and lawful attorney-in-fact (the "Attorney-in Fact"), with full power of substitution and resubstitution, each with the power to act alone for the undersigned and in the undersigned's name, place and stead, in any and all capacities to:

1.    prepare, execute, deliver and file with the United States Securities and Exchange Commission, any national securities exchange and the Company any and all reports (including any amendment thereto) of the undersigned required or considered advisable under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, with respect to the equity securities of the Company, including Form 3 (Initial Statement of Beneficial Ownership of Securities), Form 4 (Statement of Changes in Beneficial Ownership) and Form 5 (Annual Statement of Changes in Beneficial Ownership and any successor forms thereto; and

2.    seek or obtain, as the undersigned's representative and on the undersigned's behalf, information on transactions in the Company's equity securities from any third party, including the Company, brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such third party to release any such information to the Attorney-in-Fact.

The undersigned acknowledges that:

1.    this Limited Power of Attorney authorizes, but does not require, the Attorney-in-Fact to act at his or her discretion on information provided to such Attorney-in-Fact without independent verification of such information;

2.    any documents prepared and/or executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form and will contain such information as the Attorney-in-Fact, in his or her discretion, deems necessary or desirable;

3.    neither the Company nor the Attorney-in-Fact assumes any liability for the undersigned's responsibility to comply with the requirements of Section 16 of the Exchange Act, any liability of the undersigned for any failure to comply with such requirements, or any liability of the undersigned for disgorgement of profits under Section 16(b) of the Exchange Act; and

4.    this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned's obligations under Section 16 of the Exchange Act, including, without, limitation, the reporting requirements under Section 16(a) of the Exchange Act.

The undersigned hereby grants to the Attorney-in-Fact full power and authority to do and perform each and every act and thing requisite, necessary or convenient to be done in connection with the foregoing, as fully, to all intents and purposes, as the undersigned might or could do in person, hereby ratifying and confirming all that the Attorney-in-Fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by authority of this Limited Power of Attorney.  This Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned's holdings of and transactions in equity securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Attorney-in-Fact.  This Limited Power of Attorney shall be governed and construed in accordance the laws of the State of Texas without regard to the laws that might otherwise govern under applicable principles of conflicts of laws thereof.

IN WITNESS WHEREOF, the undersigned has caused this Limited Power of Attorney for Section 16(a) Reporting to be executed as of March 18, 2020.


Signature:     /s/ Kevin M. Lalande

Print Name:    Kevin M. Lalande